Comptroller’s Orders on Interlocutory Appeals and Miscellaneous Comptroller’s Orders
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In most enforcement litigation, the Comptroller of the Currency does not issue an order until after the presiding administrative law judge has issued a recommended decision and certified the record and Enforcement Counsel and Respondent(s) have filed exceptions to the recommended decision. See 12 CFR 19.38-40 (national banks) and 109.38-109.40 (federal savings associations).
Interlocutory Appeals
OCC rules allow for Enforcement Counsel or Respondent(s) to move for an interlocutory review of an administrative law judge ruling by the Comptroller prior to the certification of the record. See 12 CFR 19.28 (national banks) and 12 CFR 19.208 (federal savings associations). The Comptroller may review the administrative law judge’s ruling when certain criteria are met and issue an order.
Miscellaneous Orders
The Comptroller may issue other orders in accordance with his or her authority over the proceeding. See 12 CFR 19.4 (national banks) and 109.4 (federal savings associations).
Comptroller’s Orders on Interlocutory Appeal and Miscellaneous Comptroller’s Orders1
Comptroller’s Orders on interlocutory appeal and miscellaneous Comptroller’s Orders are accessible by clicking on the links in the table below.
Note: The litigation in which the orders below were issued may be ongoing.
| Order Date | Case Number | Case Name | Order Title |
|---|---|---|---|
| 04/22/2021 | AA-EC-2017-3 | In the Matter of Richard Usher, Former Head of EMEA FX Spot Trading, JP Morgan Chase Bank, N.A., Columbus, Ohio | Order Denying Enforcement Counsels’ Motion for Interlocutory Review (PDF) |
| 02/01/2021 | AA-EC-2014-90 | In the Matter of James E. Plack, individually and as a former institution-affiliated party of American Bank, Rockville, Maryland | Order Denying Respondent’s Motion to Reopen Proceeding (PDF) |
| 01/05/2021 | AA-EC-2017-44; AA-EC-2017-45 | In the Matter of Saul Ortega, Former Chief Financial Officer, Director, President, Chief Executive Officer, and Chairman of the Board In the Matter of David Rogers, Jr., Former Chairman of the Board, First National Bank, Edinburg, Texas |
Order Denying Respondents’ Emergency Motion to Certify Issue for Appeal and Stay Proceedings Below (PDF) |
| 12/18/2020 | AA-EC-2017-44; AA-EC-2017-45 | In the Matter of Saul Ortega, Former Chief Financial Officer, Director, President, Chief Executive Officer, and Chairman of the Board In the Matter of David Rogers, Jr., Former Chairman of the Board, First National Bank, Edinburg, Texas |
Order Granting Cross-Motions for Interlocutory Review and Vacating and Reversing in Part April 9 Order (PDF) |
| 06/18/2020 | AA-EC-2017-44; AA-EC-2017-45 | In the Matter of Saul Ortega, Former Chief Financial Officer, Director, President, Chief Executive Officer, and Chairman of the Board In the Matter of David Rogers, Jr., Former Chairman of the Board, First National Bank, Edinburg, Texas |
Notice of Submission of Parties’ Cross-Motions for Interlocutory Review for Final Disposition and Order Granting Respondents’ Unopposed Request to Stay Proceedings (PDF) |
| 06/16/2020 | AA-EC-2017-44; AA-EC-2017-45 | In the Matter of Saul Ortega, Former Chief Financial Officer, Director, President, Chief Executive Officer, and Chairman of the Board In the Matter of David Rogers, Jr., Former Chairman of the Board, First National Bank, Edinburg, Texas |
Order Denying Respondents’ Motion for Interlocutory Review (PDF) |
| 04/25/2016 | AA-EC-2014-90 | In the Matter of James E. Plack, individually and as a former institution-affiliated party of American Bank, Rockville, Maryland | Decision and Order Resolving Remaining Procedural Issues (PDF) |